Welcome to the IARDTM website. This site provides investment adviser firms and representatives with a variety of information about the Investment Adviser Registration Depository (IARD) system. IARD is an electronic filing system that facilitates investment adviser registration, exempt reporting adviser filing, regulatory review, and the public disclosure information of investment adviser firms. FINRA is the developer and operator of IARD. The system has been developed according to the requirements of its sponsors, the Securities and Exchange Commission (SEC) and the North American Securities Administrators Association (NASAA), along with those of an Industry Advisory Council representing the investment adviser firms.

Information geared to the investing public can be found on the SEC website under the “Investor Information” section.

What’s New on IARD

Please look to this area of the home page on a frequent basis for regular updates, new information, and documents about how to use IARD. IARD is generally available from 5 a.m. to 11 p.m., Eastern Time (ET), Monday through Friday. Please refer to the IARD Availability Schedule for detailed weekend and holiday availability.
  • 2015 IARD Renewal Program
    The IARD Renewal Program facilitates the annual renewal of investment adviser (IA) firms' and their IA representatives' (RAs) registrations with jurisdictions/states. Final Renewal Statements are available as of January 2, 2015, and payment of final renewal fees to FINRA is due by January 16, 2015.

  • Annual Entitlement User Accounts Certification Process
    Each year, FINRA designates a 30-day period during which Super Account Administrators (SAAs) of firms with more than one user must certify their user's access to comply with FINRA's Entitlement User Accounts Certification Process. For 2015, the 30-day certification period is January 12 - February 12, 2015. Please visit the Annual Entitlement User Accounts Certification Process Web page and the FINRA Entitlement Program - Super Account Administrator Web page for more information.

  • Web CRD/IARD Software Release 2014.4
    View an explanation of changes to Web CRD, IARD and PFRD which were implemented with the software release on November 15, 2014.

  • Payments to FINRA by Check or Wire Transfer
    Please review the updated payment options and instructions for funding your firm's Flex-Funding Account, which include E-Bill, wire transfer or check.

  • Form ADV-E Guidance for Independent Public Accountants
    A quick reference guide to the Form ADV-E Surprise Examination Filing Website is now available for independent public accountants conducting a surprise inspection of an investment adviser firm.

  • FINRA.org: Add to Safe-Sender Email List
    FINRA is the operator of IARD on behalf of the IARD program sponsors which are the SEC and NASAA. In order to ensure consistent delivery of FINRA emails to your inboxes, please add our email domain, FINRA.org to your firm's safe-sender list as soon as possible. If your email application requires you to enter individual email addresses to your safe-sender list in addition to, or in lieu of, an email domain, please add the following addresses:

    Also, if you are an SEC-registered IA firm, please add: SECIARDNotifications@finra.org

  • SEC Hedge Fund Rule Update:
    Visit the SEC website for information on Staff Guidance for Interim Completion of Part 1A of Form ADV, Item 7.B. and Schedule D, Section 7.B.